Responsibilities of the Candidate:

Process noncompliance cases and evaluate the outcome in accordance with firm policies, internal guidance, and protocols.
Perform benchmark analysis to identify prior noncompliance cases with similar fact patterns to ensure fairness and consistency in the review process.
Become proficient in firm and regulatory policies, internal guidance, protocols, and internal controls.
Support the team by participating in special projects/assignments, such as performing additional research on cases, providing suggestions for process improvement, contributing to brainstorming sessions, and other responsibilities.
Collaborate with professionals across teams while helping maintain quality, accuracy, and consistency in compliance-related activities.

Requirements:

Excellent verbal and written communication skills, demonstrated by impactful, clear, and concise writing.
Strong interpersonal skills, including ability to comfortably and confidently communicate virtually with other members of the team in India and US.
Customer service attitude with dedication to quality and demonstrated attention to detail.
High degree of professionalism and discretion with ability to handle high-level confidential data.
Strong organizational skills demonstrated by ability to organize multiple deadlines and perform multiple responsibilities.
Self-starter, with the ability to stay focused to self-manage assigned project goals and meet deadlines.
Project management skills and ability to multi-task effectively
MBA or any post-graduation (preferably Finance)
0-2 years of experience
Basic awareness of financial interests such as stocks, mutual funds, demat accounts etc.
Basic MS office application skills, including but not limited to Outlook, Excel, Word and PowerPoint.
Prior experience with Tableau.